Recent Posts in Arbitration Overview Category
Posted on May 16, 2012 By Lasky & Rifkind
Last week, a federal judge for the Northern District of California tossed a lawsuit filed by Charles Schwab against FINRA in a dispute over new language added to Schwab's customer account ...
Continue reading "Schwab Loses Lawsuit; FINRA Enforcement Action to Proceed" »
Posted on May 7, 2012 By Lasky & Rifkind
FINRA has filed a proposed rule change with the SEC, proposing to amend its Customer and Industry Codes of Arbitration Procedure to raise the limit for simplified arbitration from $25,000 to $50,000. ...
Continue reading "FINRA Proposes Rule Change to Raise Simplified Arbitration Cap" »
Posted on Feb 1, 2012 By Heidi VonderHeide
Today, FINRA filed a disciplinary complaint against Charles Schwab & Co. for changes made to its customer account agreements. In October 2011, Schwab amended its agreements to include a Waiver of ...
Continue reading "FINRA: Schwab's Waivers Are Against the Rules." »
Posted on Oct 31, 2011 By Heidi VonderHeide
The New York Times website has an article today discussing the recent increase in FINRA claimants choosing non-industry arbitrators to oversee their arbitration. Previously, for claims eligible for a ...
Continue reading "More FINRA Claimants Choosing Non-Industry Panel of Arbitrators." »
Posted on Sep 26, 2011 By Heidi VonderHeide
Choosing the person with whom to trust your money can be a difficult decision. There are many different options when it comes to investment professionals and great variation when it comes to ...
Continue reading "RESEARCHING YOUR BROKER: TIPS AND TOOLS FROM FINRA AND THE SEC" »